RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M••••••• M•••• A•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Mar 26, 2024 · San Francisco, Ca
- T•••••• P•••• F•••••••• independent RIAJul 18, 2022 to Feb 29, 2024 · Frederick, Md
- C•••••• S••••• • C••• I••• national BDApr 24, 2014 to Jul 18, 2022 · Clearwater, Fl
- T•••••• P•••• F•••••••• to S••••• W••••• A•••••••• I•••left Feb 29, 2024, registered Mar 26, 2024 (26 days) · Other
- C•••••• S••••• • C••• I••• to T•••••• P•••• F••••••••left Jul 18, 2022, registered Jul 18, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M••••••• M•••• A••••• left T•••••• P•••• F•••••••• for S••••• W••••• A•••••••• I••• (registered 2024-03-26)Feb 29, 2024 · Advisor changed firm · fact
- M••••••• M•••• A••••• left C•••••• S••••• • C••• I••• for T•••••• P•••• F•••••••• (registered 2022-07-18)Jul 18, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address